Senior Compliance Specialist- Controls and Testing

New York, New York, United States

Octus

Octus is a leading global provider of credit intelligence, data, and analytics. Since 2013, tens of thousands of professionals across hedge fund, investment banking, management consulting, and law firm verticals have come to rely on Octus to make better, faster, and more confident decisions in pace with the fast-moving credit markets.
For more information, visit: https://octus.com/

Working at Octus

Octus hires growth-minded innovators and trailblazers across the globe to drive our business and culture. Our core values – Action Oriented, Customer First Mindset, Effective Team Players, and Driven to Excel – define an organizational ethos that’s as high-performing as it is human. Among other perks, Octus employees enjoy competitive health benefits, matched 401k and pension plans, PTO, generous parental leave, gym subsidies, educational reimbursements for career development, recognition programs, pet-friendly offices (US only), and much more. 

Role

As a Senior Compliance Specialist - Controls and Testing at Octus, you will develop, implement, and maintain compliance controls policies and procedures to ensure adherence to regulatory requirements and mitigate risk across Reorg's products, services, and business practices. You will partner with cross-functional teams including Legal, Product, Technology, and Business to provide subject matter expertise and advise on control design. You will also partner with VP to design testing programs and perform testing to ensure ongoing compliance control effectiveness and identify opportunities for enhancement.

Responsibilities:

  • Draft policies and playbooks documenting internal controls and requirements for data access, system permissions, information barriers, data retention, vendor oversight, etc.
  • Collaborate with other compliance team members to research regulations and translate requirements into practical, risk-based controls.
  • Perform periodic control testing through review of permissions, system logs, sample testing, and other methods. Analyze results, identify gaps, and develop remediation plans.
  • Clearly document and report the status of key controls to leadership.
  • Advise product, engineering, and commercial teams on building compliant and ethical data products.

Requirements:

  • 5+ years in compliance, internal audit, risk management or related field
  • Strong understanding of applicable regulations (GLBA, SOX, etc.)
  • Established working knowledge of internal control concepts and testing methodology
  • Prior experience in data/information services or financial sector (Compliance, Control Room) and exposure to tech/software industry and Agile development environment is a bonus
  • Credential such as CPA, CIA is a plus

 

Equal Employment Opportunity

Octus is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, marital status, pregnancy, veteran status, or any other legally protected status. We strive to create an inclusive and diverse work environment where all individuals are valued, respected, and treated fairly. We believe that diversity enriches our workplace and enhances our ability to innovate and succeed.

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